Senior Compliance Coordinator

Location: Toronto - Corporate Office
Job Code: 1189
# of openings: 1

Description

Purpose of the Job:

The Senior Compliance Coordinator is responsible for the compliance and administration requirements within a centralized compliance function.  Accountable to adhere to regulatory requirements of Meridian, Credential Asset Management Inc. (CAM) and Mutual Fund Dealers Association (MFDA), creating an effective control system ensuring compliance and integrity in Mutual Fund Administrative Services.  Provide proactive ongoing support to Mutual Funds Investment Specialists and Branch Mutual Funds Administrators regarding operations, compliance and processing matters. As a subject matter expert you are well versed in compliance activities.

 

Kindly note our Toronto Corporate Office will be moving to 3300 Bloor Street West (Bloor & Islington), Toronto in Summer 2015. 

 

Key Responsibilities:
• Responsible to review New Rep Client Files monthly and provide feedback and coaching regarding mutual fund compliance, administration and required documentation.
• Responsible for review of Supervision Insights online tool to review daily trades and plan approval for suitability; follow up with mutual fund advisors regarding discrepancies. Effective and appropriate follow-up of files as set-out by the MFDA.
• Maintain a clear understanding of the processing functions in order to provide support to our Delivery partners as required.
• Liaise with mutual fund advisors, branch mutual fund administration, CAM and other Financial Institutions regarding problem resolution, investigation and follow up.
• Responsible for mutual fund license registrations (new or changes) and maintain all registration files.
• Liaise with CAM to ensure that all Sales Communications and Image Advertising initiatives are within guidelines.  Review Meridian website to ensure posted material meets compliance guidelines.
• Provide approvals for written correspondence to Members and ensuring Member-focus is high priority
• Respond to Member concerns/complaints within required timelines and in accordance with CAM and MFDA policy
• Contribute to team engagement by actively participating in Employee Engagement Impact Planning and other department meetings.
• Enhance capabilities through the identification of appropriate learning opportunities.
• Continuously review existing processes and make suggestions for process improvement.
• Maintain In depth knowledge of MFDA and CAM rules and policies and Meridian Wealth Initiatives
• Stay informed of regulatory and policy changes.
• Maintain In depth knowledge of Suppression of Terrorism & Anti-Money Laundering procedures, FATCA and CRMII.

 

 

Knowledge, Skills and Experience:
• Completion of Canadian Securities Course/Canadian Investment Funds Course.
• Completion of Branch Compliance Manager’s Course.
• Held a mutual fund license for a minimum of 2 years working with investments and registered plans in a financial services environment.
• Completion of Principal Protected Notes Course within 6 -12 months of hire.
• Completion of Labour Sponsored Investment Funds course (not required if CSC has been completed) within 6-12 months of hire.
• Completion of CFP would be an asset.
• Strong commitment to service excellence, maintaining a superior level to ensure department and organizational goals and objectives are achieved and or exceeded.
• Ability to act independently and part of a team to meet the daily demands of the department.
• Flexibility during RRSP season and other peak periods to work additional hours to meet heightened demand.
• Self-motivated and highly organized.
• Strong analytical and problem solving skills.
• Strong computer skills including Microsoft Word and Excel, ACE, Ovation, KnowledgeXchange and Univeris.
• Accurate data entry.
• Strong communication skills – written and verbal.
• Collaborate with internal and external partners, vendors and other business units.

 

 

Inspired. Engaged. Impactful.

Thank you for your interest in Meridian Credit Union. Please note that due to the volume of applications, only those under consideration will be contacted for an interview.

 

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